As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
I cannot believe in the "greatest country in the world" we have to comment on whether transparency on the very thing that provides a backbone for the world economy is a good idea. ALL information regarding what occurs on our markets should be readily accessible by everyone. Having a select few entities control all of the information is the definition of an oligarchy in a world where
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In Notice to Members 94-09, published in February 1994, the NASD announced Securities and Exchange Commission (SEC) approval of a new Section 46 of Article HI of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
As a good father would not neglect nor punish the reservations and protective nature of his childs small, worthless, yet invaluable collection of odd, incongruent, and disassociated toysneither should a person in financial authority govern over those with less money, less experience, less intelligence, or be given the power to reign over them with unwelcome, hostile regulation and impingement
This is about my choice to invest the way I want to.
I've been managing my own investments since 2005. I know what risks I can take.
I use leverage in my current investments. Margin trading, currencies, options, ETF's, etc.
I have a very good broker that acts like a filter when I make an investment. We discuss ideas, my investing rules and the risks in the investment before
FINRA and other government regulators should never consider limiting regular people's right to invest their wealth in whatever way we see fit. All these regulations just keep people from being able to invest at full capacity and prevent them from making money. People should educate themselves about ETF's and leveraged funds but can use them successfully as I do to hedge in a
I was Chairman of a Panel. At the Pretrial Hearing Claimant asked for an an Expedited Hearing as his client was elderly and ill. The attorneys had first been asked if the Panel , as constituted was satisfactory and t]both counsel agreed it was. The panel requested an expedited hearing and Respondent counsel advised they were too busy and not available. As Chairman i advised that an expedited
I oppose the proposed rule regarding increased restrictions on trading certain funds / securities. I, and other members of the public, am capable of making investment decisions and can suitably analyze the benefits / drawbacks to various investments. Taking risks is a fundamental part of the human experience, and placing further limits on the kinds of people who can trade certain products will
I am an individual investor who utilizes leveraged ETFs to get leverage with investing. For the small portion of my portfolio that I dedicate to leveraged ETFs, they are an excellent source of taking on a little more risk with a small amount of capital. As long as people are aware of the potential risks with leveraged ETFs like huge drawdowns and fund closures, I think there shouldn't be
